Vincent Mark Polivka
Professional Summary
Vincent Mark Polivka is a registered financial advisor currently at VANGUARD CAPITAL located in Hendersonville, Tennessee. Vincent is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Vincent has worked at 3 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 6, Series 24, Series 53, Series 8 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
VANGUARD CAPITAL | VANGUARD CAPITAL WEALTH ADVISORS, LLC
Contact Information
Main Address
999 18 St Suite 3000, Denver, CO 80202Phone Number
(844) 861-7504# of Employees
5SEC notice filing (7 States and Territories)
Registered to provide investment advisory services in 7 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
414AUM (Assets Under Management)
$190,406,969Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
VANGUARD CAPITAL | VANGUARD CAPITAL WEALTH ADVISORS, LLC
State Registrations and Notice Filings
(11/21/2016)
(3/6/2025)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed May 1999Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 1987About the Series 6 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Oct 1992Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Vincent Mark Polivka's CRS (Customer Relationship Summary).
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